Enforcement
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Enforcement 

Enforcement Staff of the Commission receive and assess complaints concerning alleged misconduct in the Alberta capital market and investigate possible breaches of Alberta's securities laws. If Enforcement Staff believe that proceedings are warranted against one or more parties, they will launch a hearing before a Commission panel using a Notice of Hearing or will launch an action in the Provincial Court of Alberta. Both types of proceedings result in decisions determining whether Alberta's securities laws were breached and, if appropriate, orders setting out the sanctions or consequences.

Status of Proceedings
Select a respondent to view more information.

Respondent

Date

Purpose

HENNIG, Theodor
WORKUM, Peter Jay (or J.)
Cheshire Capital Inc.
Lexington Capital Corp.
Strategic Investments Fund
Ashland Holdings Corp.

Awaiting written submissions - no hearing date set yet
• see first notice of hearing
• see second notice of hearing

hearing on sanction

Shallow Oil & Gas Inc.
O'BRIEN, Eric
DA SILVA, Abel
GROSSMAN, Abraham Herbert (also known as Allen Grossman)

September 2008

reciprocal hearing

Mortgage 1 Corporation
SAVAGE, Michael James
BROERS, Daren M.

October - November 2008

hearing into merits

MCLEOD, Murdo Campbell
MISZCZUK, Sidney
Flag Resources (1985) Limited
Golden Briar Mines Limited

February 2009

hearing into merits

ANDERSON, Benhard Andrew
STEVENSON, Leslie Ryan
SCHINDEL, Clarence
GHAZAR, Vincent Emile
DAWSON, Walter A.
CHARTRAND, Luc
GERLITZ, John G.
SCOTT, Jeffrey J.
WILSON, M. Scott

February - March 2009

hearing into merits

1205676 Alberta Ltd., operating as “Front Row Tickets”
660648 Alberta Ltd., operating as “S & I Holdings” and “S & I Holdings (Ticket Today)”
687576 Alberta Ltd.
1029724 Alberta Ltd.
Beaune Investments Ltd.
Windy Ridge Investments Ltd.
BEAUNE, Justin David
CAMPANELLI-PITTARELLI Giovanna
CREASON, Jamie Craig
CREASON, Jimmy Ross
HUNT, Jason Allan
MCLEOD, Daniel Neil
PILLING, Robert Claire
PITTARELLI, Anthony
TAMURA, Sam Sakai
YIP JANG, Alan

June 2009

hearing into merits